Global Financial Regulatory Blog

Tag Archives: court of appeal

Court of Appeal Takes Expansive View of Regulated “Arranging” Activities

This decision shines a spotlight on the activities of unregulated introducers. By Rob Moulton, Nicola Higgs, and Charlotte Collins In a recent decision, the Court of Appeal upheld the FCA’s findings that unregulated introducers had been carrying on regulated activities without permission by persuading individuals to transfer their personal pensions into alternative investment products and … Continue Reading

Landmark Judgment Rules in Favour of Latham Client, Rothesay Life Plc

Court of Appeal sets out correct approach to transfer of long-term Insurance. Victoria Sander, Jon Holland, Alex Cox, and Duncan Graves Latham & Watkins has won an appeal on behalf of Rothesay Life Plc (Rothesay) in an unprecedented challenge to the High Court’s refusal to sanction the transfer of around 370,000 annuity policies in August … Continue Reading
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